Handbook on Quality Control for domestic lighting sector projects … · Handbook on Quality Control for domestic lighting sector projects of EESL PwC 5 The government and stakeholders

GRID

Handbook on

Quality Control

for domestic

lighting sector

projects of EESL

September 2016

Table of Contents

1. Introduction .......................................................................................................................... 4

1.1. Background .................................................................................................................................................. 4

1.2. Objective ...................................................................................................................................................... 5

1.3. Need ............................................................................................................................................................. 5

1.4. Flow of topics .............................................................................................................................................. 5

2. Establish Performance Goals ................................................................................................ 7

2.1. About LED ................................................................................................................................................... 7

2.1.1. Introduction ....................................................................................................................................... 7

2.1.2. Structure of LED lamp ...................................................................................................................... 7

2.2. Parameters for performance measurement .............................................................................................. 8

2.3. Performance Measurement Standards ...................................................................................................... 9

2.3.1. International Standards.................................................................................................................... 9

2.3.2. Indian Standards ............................................................................................................................ 10

2.3.3. Accepted Standards ......................................................................................................................... 11

3. Measurement of Actual Performance ................................................................................. 14

3.1. Introduction ............................................................................................................................................... 14

3.1.1. Phase I – Bidding ............................................................................................................................. 14

3.1.2. Phase II – Production/Pre-Delivery ............................................................................................... 16

3.1.3. Phase III – Post – Delivery .............................................................................................................. 17

3.2. Summary of Test Schedule ....................................................................................................................... 18

4. Compliance and Action taken ............................................................................................. 20

5. Sampling Technique ............................................................................................................ 22

5.1. Introduction .............................................................................................................................................. 22

5.2. Procedure for determining sample size ................................................................................................... 22

5.3. Procedure for sample selection ................................................................................................................ 22

5.4. Analysis of Test data ................................................................................................................................. 24

5.4.1. Introduction .................................................................................................................................... 24

5.4.2. Procedure ........................................................................................................................................ 24

5.4.3. Illustrative Example ....................................................................................................................... 25

6. Third Party Inspection Agency (TPIA) ................................................................................ 27

6.1. Need for TPIA............................................................................................................................................ 27

6.2. Selection of TPIA ...................................................................................................................................... 27

6.2.1. Technical Criteria ............................................................................................................................ 27

6.3. Scope of Work ........................................................................................................................................... 28

6.3.1. Production/Pre-Delivery Stage ...................................................................................................... 28

7. Appendix ............................................................................................................................. 30

7.1. Quality Control Flowchart ........................................................................................................................ 30

List of tables

Table 1: List of LED Standards of BIS ........................................................................................................................ 10 Table 2: Accepted Quality Standards for LED Lamps ............................................................................................... 11 Table 3: Type test parameters ..................................................................................................................................... 15 Table 4: Documents required to be submitted by vendor at bidding stage ............................................................. 15 Table 5: Routine Test parameters............................................................................................................................... 16 Table 6: Acceptance test parameters .......................................................................................................................... 17 Table 7: Sampling plan for Acceptance Test .............................................................................................................. 17 Table 8: Parameters for Verification Test .................................................................................................................. 18 Table 9: Sampling Plan for Verification Test ............................................................................................................. 18 Table 10: Consolidated list of parameters for each test ............................................................................................ 18 Table 11: Compliance parameters for Acceptance Test ............................................................................................ 20 Table 12: Compliance parameters for Verification Test ............................................................................................ 21

List of figures

Figure 1: Key phases of Quality Control Plan ...............................................................................................................5 Figure 2: Components of a standard LED lamp .......................................................................................................... 7 Figure 3: Types of commonly used LED lamp base..................................................................................................... 7

List of Abbreviations and Acronyms

AC Alternate Current

AQL Acceptable Quality Level

BEE Bureau of energy efficiency

BIS Bureau of Indian Standards

CCT Correlated Colour Temperature

CFL Compact Fluorescent Lamp

CIE Commission Internationale de l'Eclairage

CRI Colour Rendering Index

CRS Compulsory Registration Scheme

DC Direct Current

DeITY Department of Electronics and Information Technology

DELP Domestic energy efficient lighting program

EE Energy efficiency

EESL Energy efficiency services limited

EMC Electromagnetic Compatibility

ESCO Energy service company

HV High Voltage

IEC International Electroctechnical Commission

IESNA Illuminating Engineering Society of North America

ILAC International Laboratory Accreditation Cooperation

IR Insulation Resistance

ISTMT In Situ Temperature Measurement Test

KOLAS Korea Laboratory Accreditation Scheme

LED Light Emitting Diode

MRA Mutual Recognition Agreement

NABL National Accreditation Board for Testing and Calibration Laboratories

NMEEE National Mission for Enhanced Energy Efficiency

PF Power Factor

SI International System of Units

SMD Surface Mounted Device

Handbook on Quality Control for domestic lighting sector projects of EESL

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1. Introduction

1.1. Background

India has huge potential of energy conservation /efficiency in different sectors of the economy. The potential

available in different sectors along with the investment required to tap that potential is given below:

Sector DSEE Investment potential

(INR crore)

Energy savings

(million TOE)

Industry 19,949 9.45

Residential 74,237 5.95

Commercial Buildings 1,139 0.30

Municipal Street lights 25,200 0.72

Agriculture 30,000 2.58

Total 150,525 19.01

Energy efficiency market potential in India has been studied by various financial and research institutions in

different contexts1 in the past. In 2010, the ‘National Mission for Enhanced Energy Efficiency’ (NMEEE), has

indicated INR 74,000 crore of investment potential for energy efficiency and conservation (EE&C). The

government has then revised this investment estimate for energy efficient electrical equipment to around

Rs.150000 crore in about six years following the success of the LED lamps distribution program2 by EESL. The

sector wise energy consumption and saving potential is shared below:

1 The Asian Development Bank (ADB), in 2005, puts the ‘energy performance contract (EPC)’ market in India at INR 14,000 crore. The Climate Group report on ‘India’s Clean Revolution’, in 2011, has predicted energy efficiency as the most valuable low carbon development strategy for India, worth USD 477 billion by 2020. The HSBC report on ‘Sizing India’s Climate Economy’ expects a fivefold increase in the energy efficiency market size by 2020 to USD 77 billion. 2 EESL Managing Director told ET


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The government and stakeholders are pushing market based approaches to unlock energy efficiency

opportunities in India. These approaches can be applied for EE projects across multiple sectors and across

equipment categories like lighting, appliance etc. Most of the EE projects are implemented by Energy Service

Companies (ESCO) provide attractive options in this field. However, the prevalent reach of these ESCO are

limited and large-scale implementation of energy efficiency is constrained by a number of important regulatory,

institutional and financing barriers. EESL seeks to create a market for a greater involvement of ESCO by

overcoming these barriers and by implementing innovative business models which can be replicated. However,

such models carry considerable performance risk.

This handbook intends to act as a guide mitigate the risks related to performance of the product being used in

DELP scheme i.e. LED lamps.

1.2. Objective

The objective of this handbook is to act as a comprehensive guide in designing and implementing quality control

plan for EE projects involving LED lamps. It is aimed at creating an understanding of the accepted international

and national quality standards for LED lamps, the various methods available for comparing the product features

with the quality standard and finally, provide an action plan to ensure quality standards are adhered to.

1.3. Need

Performance based contracting is an integral part of EE projects. Under this form of contracting, the revenue

generated by a project of an ESCO is directly related to the energy savings achieved. With respect to EE projects

in lighting, the energy savings achieved is directly related to the performance of the lighting equipment being

used. To that extent, quality control of the lighting equipment to be installed is of paramount importance to

address performance risks.

For an organization engaging in performance contracting, a knowledge repository which assists in developing

and implementing a quality control plan as well as provide a framework for vendor quality management is

essential to deliver the EE project objectives.

1.4. Flow of topics

This document is divided into 3 phases based on the flow of processes involved in a standard quality control plan:

Figure 1: Key phases of Quality Control Plan

Establish performance goals

This section gives an understanding of LED Lamps and the parameters which are measured to assess quality. The

established international and national quality standards are laid down with respect to these parameters and

finally, performance goals for LED Lamps are established based on the standards.

Establish Performance Goals

Evaluate Actual Performance

Compliance and action taken


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Evaluation of actual performance

Performance evaluation is determined through tests of the product at different phases of the project lifecycle. The

processes involved in these tests are explained in this section.

Compliance and Action taken

This section discusses the action to be taken in case there is a difference in the results of the performance tests

and the performance goals.

A Quality Control Flowchart has been prepared. This flowchart will give a broad level understanding and

correlation between the phases, processes and the role of the stakeholders in each of the processes. The flowchart

is shared in Appendix.


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2. Establish Performance Goals

2.1. About LED

2.1.1. Introduction

LED or light emitting diode is a 2 lead semiconductor light source. Light is emitted when voltage is applied across

the leads through the process of electroluminescence. First created in 1927, LEDs were started to be used in

practical electronic components in 1962. Most of the usage was limited to display purposes in the electronic

equipment. Subsequent advancement in semiconductor technologies, optics and material science, resulted in an

exponential increase in the light output of LEDs. This led to development of LED lamps and luminaries which

can be packaged into commercial products and be used for general illumination purposes. Since the prevalent

light sources i.e. incandescent/CFL bulb consumed more energy than these LED based products for similar

illumination properties, replacement of conventional light sources with LEDs started gaining ground.

2.1.2. Structure of LED lamp

Figure 2: Components of a standard LED lamp3

A conventional LED lamp has 6 main components:

1. Base: It serves as the entry electrical power. There are multiple types based on the design and diameter

of the base. The diagram below gives the some types of bases with their corresponding nomenclature.

The most commonly used base type in India is B22 (Bayonet Type).

Figure 3: Types of commonly used LED lamp base4

3 Source: Public Information 4 Source: Public Information

http://simplyledbulbs.com/Why-Do-LED-Bulbs-Look-So-Funny.html

http://www.paullights.com/all-about-different-holders-e14-e27-b22/


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2. Electrical Connector: It serves as a housing for the connecting components of the driver and base.

3. Driver: The driver converts AC power supplied by the fixture into 12 volt DC current to run the LEDs.

During the process of conversion, some heat is generated which affects the longevity of the bulb. In most

cases it integrates electrical ballast which regulates current and provides sufficient voltage to start a lamp.

4. Heatsink: The primary purpose of this component is to dissipate the heat generated by the driver,

thereby increasing the bulb longevity. Usually, it is constructed of aluminium fins.

5. LED Panel/Module: It is the circuit board that contains the array of LEDs producing light. The board

may hold as few as one LED or an array of 10 or more LEDs.

6. Globe/Lens: Typically made of plastic, it is designed to diffuse the light produced by the LED module.

The structure of the globe determines the dispersion of light.

2.2. Parameters for performance measurement

For any commercially available LED lamp, performance is measured based on photometric tests, which measure

visible light in units that are weighted according to the sensitivity of the human eye.

The photometric parameters used for performance measurement of LED luminaries are:

1. Total Luminous Flux

It is the measure of the total energy radiated from a light source in all directions, taking into account the

varying sensitivity of the human eye to different wavelengths of light. SI Unit of luminous flux is lumen.

It serves as the basis for calculating other parameters and can be used for comparing different light

sources.

2. Luminous intensity

It is the measure of the luminous flux emanating from a point source within a solid angle of 1 steradian.

The SI unit is Candela i.e. lumens per steradian.

3. Luminous Efficacy

It is the measure of luminous flux with respect to the energy consumed to produce it i.e. it is the ratio of

luminous flux to power. The SI unit is lumens per watt. Luminous efficacy gives an understanding of the

energy consumption by the LED to produce a certain level of illumination.

4. Chromaticity Coordinates

Chromaticity is an objective specification of the quality of colour emitted by a luminary source i.e. hue

and saturation. Hue is the attribute of by which the light is discernible into its dominant wavelength or

colour. Saturation determined by a combination of light intensity and the distribution of the intensity

across the spectrum of different wavelengths.

As the human eye has 3 type of colour sensors, the full plot of all visible colours is a 3 dimensional area

with 3 tristimulus value: Luminance or brightness, hue and saturation. Chromaticity coordinates are

determined by projecting the values in the tristimulus coordinate space into coordinates in chromaticity

space through mathematical conversion.

5. Correlated Colour Temperature (CCT)

A measure of the color of a light source relative to a black body at a particular temperature. It is based on

the Kelvin Colour Temperature Scale and is measured in degrees Kelvin (K). The figure below gives the

range of colour temperature for different colour of the light source.


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Usually, incandescent lights have a low colour temperature of approx. 2800K while white LED Lamps

have a color temperature value between 2700-3500K. Colour temperatures over 5000K are considered

cool colours i.e. bluish white while lower temperatures around 2700-3000K are called warm colours i.e.

yellowish white through red.

6. Colour rendering index (CRI)

It gives measure of the light source’s ability to reveal colours of an object realistically or naturally with

respect to a natural or an ideal light source. CRI is measured by the international standard CIE Ra.

Numerically, the highest value is 100 for standardized daylight or a black body. Typical LEDs have CIE

Ra values of around 80-85.

2.3. Performance Measurement Standards

2.3.1. International Standards

2.3.1.1. LM 79-08

The default global test standard is LM 79-08 developed by Illuminating Engineering Society of North America

(IESNA). It provides the environmental conditions for testing, how to operate and stabilize LED sources during

testing, the methods of measurements and type of instruments to be used. It captures aspects of performance

which includes photometric and electrical properties. The photometric properties include the following:

1. Luminous flux

2. Luminous efficacy

3. Luminous Intensity Distribution

4. Chromaticity Coordinates

5. CCT

6. CRI

2.3.1.2. CIE S 025/E:2015

Since IESNA LM79-08 was developed by a regional organization, many national standards could not adopt this.

Hence in March 2015, CIE S 025/E:2015 was published by International Commission on Illumination or

Commission Internationale de l'Eclairage (CIE) based on global representation. CIE S025 draws on experience

of LM-79 and is more comprehensive, covers more measurement instruments and has greater depth. It covers

measurement of:

1. Total luminous flux

2. Partial luminous flux (useful lumens)

3. Centre beam and beam angles

4. Electrical measurements

5. Luminous efficacy (efficiency)

6. Luminous intensity distribution

7. Chromaticity coordinates

8. CCT

9. Distance from Planckian locus

10. CRI

11. Angular colour uniformity

It also specifies standard test conditions and also accounts for uncertainty of instrument measurement by

specifying tolerance interval and acceptance interval.


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2.3.1.3. In Situ Temperature Measurement Test (ISTMT)

It is the measure of the LED source temperature within the LED system. It is used to check whether the

temperature of the luminaire is within the temperature of the LM 80-08 report and it forms the basis for

determination of LED lifetime based on TM 21-11 or any other method.

2.3.1.4. LM 80-08

Developed by IESNA it is used to measure lumen maintenance of LED light sources. The report provides

luminous flux for a given current over a 6000 hour period. It is conducted for 3 different LED case temperatures:

55℃, 85℃ and a 3rd temperature selected by the manufacturer.

2.3.1.5. TM 21-11

TM 21-11 is the approved method by IESNA for taking LM-80 data and make useful lifetime projections for LED

luminaries.

2.3.2. Indian Standards

The Bureau of Indian Standards (BIS) recognized a need for LED standards and initiated a policy building process

in 2010. The process completed with the approval of LED standards by BIS technical committee in 2011 and was

implemented in 2012. The standards include the following:

Table 1: List of LED Standards of BIS

Sr.

No. IS No.

Equivalent

International

Standard No.

Title

1. 16101 : 2012 IEC 62504 TS General Lighting – LEDs and LED Modules – Terms & Definition

2. 16102 (Part 1) : 2012 IEC 62560

Self – ballasted LED lamps for General Lighting Services

Part 1 – Safety Requirements

3. 16102 (Part 2) : 2012 IEC 62612

Self – ballasted LED lamps for General Lighting Services

Part 2 – Performance Requirements

4. 16103 (Part 1) : 2012 IEC 62031

Led Modules for General Lighting

Part 1 - Safety Requirements

5. 16103 (Part 2) : 2012 IEC 62717

Led Modules for General Lighting

Part 2 - Performance Requirements

6. 15885 (Part2/Sec13) :

2012

IEC 61347-2-13,

Ed 1 2006-05

Safety of Lamp Control Gear

Part 2 - Particular Requirements

Section 13 - DC or AC Supplied Electronic Controlgear for Led

Modules

7. 16104 : 2012 IEC 62384

DC or AC Supplied Electronic Control Gear for LED Modules

Performance Requirements

8. 16105 : 2012

LM 80/

Method of Measurement of Lumen Maintenance of Solid State Light

(LED) Sources

9. 16106 : 2012

LM 79/

IEC 60598

Method of Electrical and Photometric Measurements of Solid-State

Lighting (LED) Products


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10. 16107 (Part 1) : 2012 34D/950/NP

Luminaries Performance

Part 1 – General Requirements

11. 16107 (Part 2) : 2012 34D/977/DC

Luminaires Performance

Part 2 - Particular Requirements

12. 16108 : 2012 IEC 62471 Photo-biological Safety of Lamps and Lamp Systems

The Department of Electronics & Information Technology (DeITY) issued "Electronics and Information

Technology Goods (Requirement for Compulsory Registration) Order, 2012" on 3rd October 2012 and a

notification on 13th November 2014 which subjected 30 categories of electronics products to Compulsory

Registration Scheme (CRS). From the 30 categories mentioned, the following standards for LED lamps are

covered by the Order:

1. IS 15885 (Part2/Sec13) : 2012

2. IS 16102 (Part 1) : 2012

As per the Order, no person is allowed to manufacture or store for sale, import, sell or distribute goods which do

not conform to the Indian standard specified in the order. It mandates manufacturers of these products to get

their product tested from BIS recognized labs and subsequently apply for registration from BIS. Once the

manufacturer is registered by BIS under its registration scheme, the manufacturer is permitted to declare that

their articles conform to the Indian Standards and put the Standard Mark notified by the Bureau.

2.3.3. Accepted Standards

Based on the BIS standards, following can be the minimum technical requirements for the acceptance of an LED

lamp:

Table 2: Accepted Quality Standards for LED Lamps

Sr.

No. Parameters Requirements Requirements Applicable IS

1. Light source SMD LED chip SMD LED chip LM80/ 16106

2. Make

Nichia, Cree, Osram,

Lumileds

Nichia , Cree, Osram,

Lumileds LM80/16106

3. Lamp Wattage

Up-to 8 W ( Suitable to

replace 60 W ICL)

Up-to 8 W (Suitable to

replace 60 W ICL) 16102-1 and 16102-2

4. CCT Warm white (2700K) Cool white (5700k)

16102-2 CCT range as

per standard or ANSI.

5. LED Chip

Wattage < 1w < 1w

Recommended. At

actual driving condition

6. Base Cap B22d (Bayonet Cap) B22d (Bayonet Cap) 16102-1

7. Ingress

Protection IP20 IP20

8. Rated

Luminous Flux 500 Lumens Minimum 600 Lumens Minimum 16102-2 and 16106


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9. Lamp Efficacy

(lm/w) Minimum 70 Minimum 80 16102-2 and 16106

10. CRI Minimum 80 Minimum 80 16102-2 and 16106

11. Beam angle

(Typical Value) 120° 120° 16102-2

12. Junction temp Maximum 85°C Maximum 85°C 16102-1

13.

LED Chip

Efficacy Minimum 115 Lm/W Minimum 120Lm/W.

Value is

Recommendatory.

Efficacy at actual LED

driving condition.

14. Harmonics Maximum 20% Maximum 20%

Method of Test as per IS

16102-2

15. EMC Table 6 and 7 Table 6 and 7 16102-2 and 6873 part 5

16. Lumen

Maintenance @

85°C

Minimum 70% upto

25000 hrs( Indoor

application)

Minimum 70% upto

25000 hrs ( Indoor

application)

16102-2 and 16105.

17. PF Minimum 0.9 Minimum 0.9 16102-2

18. Life Hours Minimum 25,000 Minimum 25,000 16102-2 and 16106

19. Rated Voltage 100 V – 300 V 100 V – 300 V 16102-2

20. Surge Voltage > 2.5 kV > 2.5 kV > 2.5 kV

21. Working Temp -10 to 50 deg C -10 to 50 deg C

22. Working

Humidity 10% - 90% RH 10% - 90% RH

23. Marking Table 1 Table 1 16102-2

24. Safety

Requirement All Test All Test 16102-1

25. Driver

Efficiency >85% >85%

26.

Temperature

Cycling test and

supply voltage

switching test

Product shall be subjected

to the following for 5

cycles:

10 °C for 1 hrs

50 °C for 1 hrs

30 Sec On and 30sec

Off.

At the end of test as per (1)

and (2) no visual damage

shall be observed and

lamp shall alight for more

than 15 min after test.

Product shall be subjected

to the following for 5

cycles:

10 °C for 1 hrs

50 °C for 1 hrs

30 Sec On and 30sec

Off.

At the end of test as per (1)

and (2) no visual damage

shall be observed and

lamp shall alight for more

than 15 min after test.

IS 16102 (Part 2)


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27.

Accelerated

operational

life test.

Product shall be operated

continuously for 6000

hours. Test has to conduct

at 45°C

At the end of test, no

visual damage shall be

observed and lamp shall

alight for more than 15

min after test.

Product shall be operated

continuously for 6000

hours. Test has to conduct

at 45°C

At the end of test, no

visual damage shall be

observed and lamp shall

alight for more than 15

min after test


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3. Measurement of Actual Performance

3.1. Introduction

For any EE project involving LED lamp, the measurement of actual performance can be complete by the following

processes:

1. Document verification i.e. Confirmation or declaration via certificates and checklists. Certificates

issued are based on lab reports and all lab test reports submitted by the vendor should have NABL

accreditation.

2. Physical or actual verification via testing. It includes 4 types of tests which can be conducted in

an EE project involving LED lamps:

Type Test

Routine Test

Acceptance Test

Verification Test

With reference to any EE project involving LED lamps, a combination of both Document verification and Testing

should be used across the project lifecycle. To get a better understanding of the quality control processes

employed in an EE project, the project lifecycle is divided into following 3 phases:

• Phase 1 – Bid Evaluation

• Phase 2 – Production/Pre-Delivery

• Phase 3 – Post-Delivery

A detailed approach to quality control method to be adopted in these 3 phases is elaborated below.

3.1.1. Phase I – Bidding

From a quality control perspective, during the bidding phase, the pre-qualification of any vendor is tested on the

basis of verification of the documents and certificates submitted by the bidder. The tests conducted at this stage

involves the following:

3.1.1.1. Type Test

Type Test is conducted for the purpose of checking compliance of the design of a given product with the

requirements of the relevant standard and general quality/design features of the unit. In case of any change in

any design parameter, the complete type test is repeated.

The quality standards considered for compliance are IS16102 (Part 1): 2012 and IS16102 (Part 2): 2012. The

parameters that are to be measured according to the standards mentioned are as follows:


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Table 3: Type test parameters

TYPE TEST

No. Safety (IS:16102-1) No. Performance (IS: 16102-2)

1 Marking 1 Marking

2 Interchangeability 2 Dimensions

3 Protection against electric shock 3 Lamp Power

4 IR and electric strength after humidity treatment 4 Central Beam Intensity

5 Mechanical strength 5 Beam Angle

6 Cap Temperature Rise Test 6 Colour quantities viz. CCT, Chromaticity Coordinates,

CRI

7 Resistance to Heat 7 Lamp life, Lumen Maintenance and Endurance test for

built-in Electronic Ballast

8 Resistance to flame & ignition 8 Harmonics and Power factor

9 Fault Condition 9 Emission (Radiated and Conducted) of radio frequency

disturbances

10 Creepage distance and clearance 10 Luminous Flux

This set of tests is to be conducted by the vendor in NABL Certified Labs only and the results recorded in

corresponding Test Reports. While LM79 Test Report captures the performance parameters like luminous flux,

colour quantities etc., LM80/TM 21 Test Reports records Lamp Life. For all other parameters under the safety

and performance requirements, vendor should have Detailed Test Certificate from NABL Certified Labs. As

detailed in the following section, these Test Reports along with other documents need to be submitted by vendor

during bid submission to be considered for evaluation.

3.1.1.2. Document Verification

The following gives the checklist of documents required for verification at the bidding stage:

Table 4: Documents required to be submitted by vendor at bidding stage

No. Confirmation & Declaration of Quality

1 BIS Certification

2 LM80/TM 21 report from reputed LED Chip supplier

3 Letter from Chip supplier assuring supply support to Bidder

4 Accreditation of ILAC/MRA/KOLAS/EPA International Certifying Package Agencies for LM80 test reports

5 LM79 Test report for 9W LED Bulb from NABL Certified Lab

6 Detailed Test Certificate from NABL Certified Lab for parameters not covered under LM-79 ‘Technical

Specifications’

7 Sample copy of batch test report (specifying which tests will be reported with each bulb consignment)


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8 Warranty certificate for performance of minimum 3 years

A detailed inspection of the submitted documents is essential to ensure the verity of the documents and that there

is no data manipulation. This inspection should be conducted by EESL to check for compliance and decide on the

action to be taken.

3.1.2. Phase II – Production/Pre-Delivery

During the production stage there can be 2 types of quality check routines:

1. Routine Test

2. Acceptance Test

3.1.2.1. Routine Test

Routine Test comprise a set of tests performed by vendor on each complete unit of the same type. This is done to

check whether the final product complies with the relevant standard. The vendor should maintain the records

and test results with traceability. The test results are to be submitted to EESL before the product is being offered

for acceptance.

The parameters that must be present in Test report are as follows:

Table 5: Routine Test parameters

ROUTINE TEST

No. Safety (IS:16102-1) No. Performance (IS:16102-2)

1 Marking 1 Marking

2 Interchangeability

3 Protection against electric shock

4 IR and HV after humidity treatment

5 Mechanical strength

6 Resistance to Heat

Sampling for the test will be conducted in accordance with the Quality Assurance Plan of the vendor. EESL can

review of Quality Assurance Plan for reviewing the procedure. The Routine Test results, provided by the vendor

should be verified by EESL.

3.1.2.2. Acceptance Test

This set of tests is conducted on samples taken from the lot which has successfully completed Type & Routine

Tests. This helps in verifying whether the lamps produced by the vendor matches the EESL’s technical

requirements and hence, to decide whether it can be accepted or not. Acceptance Tests helps capture any quality

lapses that may arise post production and prior to delivery.


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The parameters that are verified at this stage are as follows:

Table 6: Acceptance test parameters

ACCEPTANCE TEST

No. Safety (IS:16102-1) No. Performance (IS:16102-2)

1 Marking 1 Marking

2 Interchangeability 2 Dimensions

3 Protection against electric shock 3 Lamp Power

4 IR and HV after humidity treatment 4 Luminous flux

5 Mechanical strength 5 Central Beam Intensity

6 Cap Temperature Rise 6 Beam Angle

7 Chromaticity Coordinates, CRI

To ensure the quality of products being delivered, acceptance test should be performed on each lot based on the

following sampling plan:

Table 7: Sampling plan for Acceptance Test

Sampling Plan

Safety (Part 1) Performance (Part 2)

Sample size as per IS 16102

25 (for all parameters except Cap Temperature Rise)

5 (for Cap Temperature Rise)

15

The sample size indicated here is the minimum of sample to be selected, regardless of lot size. Depending on lot

size, the sample size may be higher. The procedure to determine the sample size in case of larger lot size is

discussed in Sampling Technique section.

Samples should be selected at random to ensure proper representation of a lot. The method employed for random

selection should be in compliance with IS 4905:1968 (R2001) standard and is discussed in detail in Sampling

Technique section.

For Acceptance Test, set of Safety tests are conducted first. Based on the test results, samples are selected from

the lot which has passed the Safety Test for Performance Tests.

Considering the technical requirements of these set of tests, a Third Party Inspecting Agency can be employed for

inspect the samples and generate Test Reports. Post inspection, the Test Reports generated can be verified by

EESL for compliance.

3.1.3. Phase III – Post – Delivery

3.1.3.1. Verification Test

This set of tests are conducted before deployment of the product as a final verification of the important design

parameters. Although not mandated by the relevant standards i.e. IS16102 (Part 1 & 2), Verification Test is a vital

cross check mechanism, post-delivery, to ensure quality products reach the end users/consumers. While the


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performance checking is essential at this stage, safety test is optional. The following are the parameters which are

to be tested:

Table 8: Parameters for Verification Test

VERIFICATION TEST

No. Performance (IS:16102-2)

1 Lamp Power

2 Luminous flux

3 Central Beam Intensity

4 Beam Angle

5 Chromaticity Coordinates, CRI

The following sampling plan should be followed for the verification tests:

Table 9: Sampling Plan for Verification Test

Sampling Plan

Verification Test Performance

Sample size as per IS 16102 Part 2 15

The sample size indicated here is the minimum of sample to be selected, regardless of lot size. Depending on lot

size, the sample size may be higher. The procedure to determine the sample size in case of larger lot size is

discussed in Sampling Technique section.

Samples should be selected at random to ensure proper representation of a lot. The method employed for random

selection should be in compliance with IS 4905:1968 (R2001) standard and is and is discussed in detail in

Sampling Technique section.

A Third Party Inspecting Agency should be considered for these set of tests for measuring technical parameters.

Post inspection, the Test Reports generated can be verified by EESL for compliance.

3.2. Summary of Test Schedule

Table 10: Consolidated list of parameters for each test

No. Test Description Type

Test

Routine

Test

Acceptance

Test

Verification

Test

1 Proof of procurement of LEDs Y Y Y Y

2 Safety Test (IS : 16102-1)

a Marking Y Y Y -

b Interchangeability Y Y Y -

c Protection against electric shock Y Y Y -

d IR & HV test after humidity treatment Y Y Y -

e Mechanical strength Y Y Y -


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f Cap temperature rise test Y - Y -

g Resistance to heat Y Y - -

h Resistance to flame & ignition Y - - -

i Fault condition Y - - -

j Creepage distance & clearance Y - - -

3 Performance and reliability tests (IS : 16102 – 2)

a Marking Y Y Y -

b Dimension Y - Y -

c Lamp power Y - Y Y

d Luminous flux - - Y Y

e Centre beam intensity Y - Y Y

f Beam angle Y - Y Y

g CCT, Chromaticity coordinates, CRI Y - Y Y

h Lamp life, Lumen maintenance & Endurance

test for built in electronic ballast Y - - -

i Harmonics and power factor Y - - -

j Test for emission (Radiated and Conducted) Y - - -


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4. Compliance and Action taken

This stage involves comparison of the test results/parameters given in documents with the established

performance standards. On the basis of compliance or non-compliance to accepted standards given IS16102: Part

1 & IS16102: Part 2, the tested lot will be accepted or rejected.

Compliance is determined by the Acceptance Level i.e. maximum number of non-conforming items allowed in a

sample for a lot to be accepted. An item is considered non-conforming when the tested value of the attributes are

inconsistent with those specified in the Accepted Standards. Another term, Acceptable Quality Level (AQL) can

be calculated from Acceptance Level. AQL is the Acceptance Level expressed as percentage of the sample size.

The use of AQL is explained in the following section on Sampling Technique.

The compliance standards and actions to be taken at different phases is given below:

Phase I – Bid Evaluation

The parameters of the documents submitted as Confirmation & Declaration of Quality should comply with the

established performance and safety parameters. In case of non-compliance in any of the parameter, the bid

should be rejected.

Phase II – Production/Pre-Delivery

Routine Test: The lot which is non-compliant to any performance or safety parameters is rejected. Only those

lots which pass Routine Test proceed to Acceptance Test.

Acceptance Test: The lot from which sample is selected is considered compliant if it follows the following

Compliance scheme:

Table 11: Compliance parameters for Acceptance Test

Compliance

Safety Requirements Performance Requirements

Test Parameter Acceptance

Level AQL Test Parameter

Acceptance

Level AQL

Marking 2 8% Marking 2 13%

Interchangeability 2 8% Dimension 2 13%

Protection against electric shock 2 8% Lamp wattage 4 27%

Insulation resistance after

humidity treatment 2

8% Luminous Flux 4 27%

Electric strength after humidity

treatment 2

8% Centre Beam Intensity 2 13%

Mechanical strength 2 8% Beam Angle 2 13%

Cap temperature rise 1 20% CCT, Chromaticity & CRI 2 13%

All parameters combined 4 16% All parameters combined 5 33%


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In case of performance testing, compliance is considered if ‘Marking, Dimension, Centre Beam Intensity and

Beam Angle’ requirements are met. During testing, if any one or more sample fails, remaining LED lamps shall

be tested from which not more than one shall fail.

Phase III – Post Delivery

The performance compliance standards given in IS16102: Part 2 is considered in this section. The lot from which

sample is selected is considered compliant if it follows the following Compliance scheme:

Table 12: Compliance parameters for Verification Test

Compliance:

Performance Requirements

Test Parameter Acceptance Level AQL

Lamp wattage 4 27%

Luminous Flux 4 27%

Centre Beam Intensity 2 13%

Beam Angle 2 13%

CCT, Chromaticity & CRI 2 13%

All parameters combined 5 33%

The qualifying limits discussed here are on the basis of the minimum sample size laid down in IS16102 (Part 1 &

2). As mentioned earlier, the sample size may increase based on the lot size. For sample size larger than that

mentioned above is will be inspected according to the procedure given in IS2500:1965 (Part 2), elaborated in the

following section.


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5. Sampling Technique

5.1. Introduction

This section details the method employed to choose samples for testing. The information given in this section is

in accordance with the following Indian Standards:

1. IS 16102 (Part I & II) – Self Ballasted LED Lamps for General Lighting Services (Safety & Performance

Requirements)

2. IS 4905:1968 (R2001) – Methods for Random Sampling

3. IS 2500:1965 (Part 2) – Inspection by Variables for Percent Defective

The minimum sample size as mandated by IS16102 for safety & performance tests are 25 and 15 respectively.

Based on the information in IS2500:1965 (Part 2), the corresponding lot size for the minimum sample size is

500, considering the recommended Inspection Level (Level IV) in the standard. For lot sizes greater than 500,

the procedure given in IS2500:1965 (Part 2) is applied to determine sample size. It is assumed that lot

variability is not known beforehand and hence, the Variability Unknown – Range Method is considered. The

following section details the procedure to determine sample size for lot sizes greater than 500, according to the

Variability Unknown – Range method.

5.2. Procedure for determining sample size

According to the specified method, the procedure for determining sample size is as follows:

1. Refer Table 1 of the IS document and determine the sample size code letter for Inspection Level IV and

the given lot size.

2. Refer Table 4 of the IS document to identify sample size for the Sample size Code Letter determined in

the previous step.

The next section elaborates on the sample selection procedure after the sample size has been determined.

5.3. Procedure for sample selection

As discussed in the document, sampling is required by EESL/TPIA in two test types:

1. Acceptance Test

2. Verification Test

For Acceptance Test, the sampling process will be conducted at 2 levels:

1. For testing safety requirements

a. Up to and including 20 containers per batch


PwC 23

Out of every container an equal number of lamps (or as near to equal as possible) shall be

selected through Simple Random Sampling to obtain the designated number of lamps in the

sample size.

b. Over 20 containers per batch

A method of Systematic Sampling is conducted to select 20 containers from the total container

lot. Simple Random sampling is adopted to select the designated number of lamps as given in

the previous step.

2. For testing performance requirements

Sample selection is conducted for those set of lamps which conform to the compliance requirements of

safety inspection tests. Similar to testing for safety requirements, there can be 2 cases during sample

selection for testing performance:

a. Up to and including 20 containers per batch

Out of every container an equal number of lamps (or as near to equal as possible) shall be

selected through Simple Random Sampling to obtain the designated number of lamps from the

sample size.

b. Over 20 containers per batch

A method of Systematic Sampling is conducted to select 20 containers from the total container

lot. Simple Random sampling is adopted to select the designated number of lamps as given in

the previous step.

For Verification Test, sampling process will be conducted at 1 level only:

1. For testing performance requirements

The procedure would be same as followed in case of Acceptance Test.

The procedure for Simple Random Sampling and Systematic Sampling are given below:

1. Systematic sampling:

This method consists of first selecting a single sample item from the population of N items and

thereafter selecting items at a sampling interval r to make up the desired sample of size n. The

sampling interval is determined by the formula, r=N/n. In case of a fraction, the integral part of r is

taken as the interval and then the items are counted in one order. Every rth item thus counted is

withdrawn until the sample of required size is obtained. In this approach, progression through the list

is treated in a circular manner where there is a return to the top once the end of list is reached. This

circular approach is continued until the sample size is selected.

2. Simple Random Sampling:

In this method, sample size n is selected from the lot size N such that while selecting the item the

chance for any item of the lot being included in the sample is the same. Also, an item once drawn, will

not be placed back in the lot.

To ensure that equal chance of selection of any item, n random numbers are required. The random

numbers can be obtained from the Random Number Table (as given in Appendix B of IS 4905:1968

(R2001)). The procedure of the usage of the Random Number Table is given in the same IS document.

Once the random numbers are available, the selection is conducted. Starting from any item in the lot


PwC 24

and counting them in one order, the items corresponding to the random numbers noted down are

withdrawn to constitute the required sample size n.

5.4. Analysis of Test data

5.4.1. Introduction

Once the sample has been selected, tests are conducted the safety and performance parameters. The procedure

for analysis of test data for compliance with accepted standards is given in IS 2500:1965 (Part 2). In order to

elaborate the procedure an understanding of the following terms are required:

1. Mean ( ) – The sum of the observations divided by the number of observations

2. Range (R) – The difference between the largest and the smallest observations in a sample

3. Variability Range ( ) – The mean of set of ranges calculated for sub-groups of five observations in a

sample.

4. Sample Standard Deviation (s) – It quantifies the amount of variation in a set of data values.

5. Sample size (n) – The number of items in a given sample

6. Range factor (k) – Factor determined from Table 4 of the IS document based on Sample Size and AQL

7. Confidence Level – It gives the probability that test results will fall within a specified range of values. For

any confidence level, an interval is defined, giving the upper and lower confidence level.

8. Upper & lower confidence level – This parameter gives the upper and lower limit of the range of values

specified for a specific confidence level. The Upper and Lower confidence level is used in case of certain

performance parameters as given in IS 19102:2001 (Part 2) viz. Lamp Power, Luminous Flux, Centre Beam

Intensity and Beam Angle along with the Upper and Lower Specification Limit, as may be applicable.

9. Upper (U) & Lower (L) Specification Limit – Based on the accepted standards, the upper limit or the lower

limit of the test value for any parameter will be specified. In case either of the two is specified, it is called a

One-sided specification Limit, In case both are specified, it is called Two-sided Specification Limit. The

specifications are available from the Accepted Standards section above. The limit to the specification are

specified in IS16102 (Parts 1 & 2)

10. Limit factor (a): Maximum value, according to Table 6 of IS2500 (Part 2), for a particular combination of

chosen AQL and sample size code letter.

5.4.2. Procedure

The procedure for Inspection according to Variability Unknown – Range Method is outlined below:

1. From table 4, the Range factor (k) is identified for the sample size and the AQL. The AQL for each

parameter is defined in the previous section. In case the AQL defined is beyond that given in the table,

a value in the table closest to the defined AQL is chosen, subject to the agreement between the parties

concerned.


PwC 25

2. The mean ( ) and variability range ( ) is recorded for the test values of each sample for each safety

and performance parameter.

3. The condition for compatibility is considered on the basis of the following:

a. For one-sided specification limits:

i. When U is defined, ( +k ) ≤ U

ii. When L is defined, ( -k L

b. For two-sided specification limits:

i. (U-L) ≤ a

ii. ( +k ) ≤ U

iii. ( -k L

For compatibility, all the 3 conditions should be fulfilled.

c. For confidence level:

The upper and lower limit for determining confidence level is calculated by the formulae given

in IS16102: 2001 (Part 2):

i. Upper Confidence Level: 1.96 (s/√n)

ii. Lower Confidence Level: - 1.96 (s/√n)

According to the IS document, the appropriate formula is used for the specified parameters.

The compatibility, the results should comply with both the specification limit and the

confidence level criteria.

4. Based on the compatibility with the above criteria, as applicable, the test result for each parameter is

considered as “Accepted” or “Rejected”.

5. For parameters (viz. Interchangeability, Lamp Power, Luminous Flux, Centre Beam Intensity and

Beam Angle) having multiple compatibility criteria, the results are “Accepted” only if compatibility is

established for all the criteria. Rejection in any one criteria will lead to rejection of the sample for that

specific parameter.

6. For the consolidated results, the parameters for which acceptance will be at the discretion of EESL.

As discussed earlier, in case of Acceptance Test, tests for performance are conducted only for those samples

which comply with the Safety requirements. For Verification Test, only the Performance Requirements will be

tested for those samples which have passed the Acceptance Test.

5.4.3. Illustrative Example

The entire Test Data Analysis process is exemplified in the attached excel sheets. The lot size considered for this

example is 1,00,000.


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The sheets Safety Requirements and Performance Requirements tabulate the sample test results of each item

comprising the sample size. The Summary Sheet gives the calculation details for AQL and Test data analysis

process, as described above.

Safety

Requirements.xlsx

Performance

Requirements_Warm White (2700K).xlsx

Summary

Sheet_Warm White (2700K).xlsx


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6. Third Party Inspection Agency

(TPIA)

6.1. Need for TPIA

As discussed, there are multiple parameters require to be tested to ensure quality control of LED lamps. These

tests require controlled environment with specialized equipment as well as qualified personnel. Although for any

EE project the quality of the product supplied by the vendor is of paramount importance, quality control is seldom

the core function of an ESCO, in this case, EESL. A greater advantage can be leveraged by outsourcing the function

of conducting the test to a TPIA. Such agencies provide the following advantages:

1. There are no commercial biases, unlike the tests conducted by the manufacturer. The test reports have

more credibility

2. Due to specialization of the independent laboratory, the turnaround time for test activity is reduced

drastically

3. Independent organizations often have specialized facilities with current calibration

4. Personnel often have excellent experience, credentials, certifications, and accreditations which will be an

additional cost function if in-house quality testing is conducted

While it does provide certain advantages, precaution must be taken to ensure close co-ordination between TPIA,

vendor and EESL. This will prevent any delay that might adversely affect the schedule of the project.

6.2. Selection of TPIA

Selection of TPIA shall be on the basis of the following:

1. Technical Criteria

2. Financial Criteria

The Technical Criteria falls under the purview of this document and is discussed in detail.

6.2.1. Technical Criteria

NABL has published documents delineating the specific criteria for the set of laboratories on the basis of area of

testing. These Specific Criteria documents must be used in conjunction with ISO/IEC 17025:2005 (General

Requirements for the competence of Testing and Calibration Laboratories). The Specific Criteria documents

provide an interpretation of the latter document and describes specific requirements for those clauses of ISO/

IEC 17025:2005 which are general in nature. The laboratories are required to comply with all the requirements

listed in the international standard ISO/IEC 17025:2005. Further, the Laboratory shall follow the national,

regional and local laws and regulations as applicable.

Accreditation is normally granted for the test facilities for which the laboratory is properly equipped and has

demonstrated its capability. The scope of accreditation, hence, varies with the range of work performed, the scope

and complexity of the tests involved, the competence of laboratory staff and the capability of equipment available.


PwC 28

The accreditation is accorded to a laboratory for the entire test facilities or a part of facilities. When the facility is

accredited for testing of one product and it is required to test another product where the same facility can be used,

the laboratory can perform the test and issue test report. However this test will need to be evaluated by NABL

during subsequent surveillance so that the scope can be appropriately amended

Following are the specific criteria documents that are referred to for NABL accreditation for testing LED Lamps:

1. Specific Criteria for Electrical Testing Laboratories (Reference Document No: NABL 104)

2. Specific Criteria for Photometry Testing Laboratories (Reference Document No: NABL 109)

Apart from the requirements specified in ISO/IEC 17025:2005, these documents focus specifically on:

1. Management Requirement to ensure operation and effectiveness of the quality management system

within the laboratory

2. Technical Requirement to take care of factors which determine correctness and reliability of tests and

calibrations performed in the laboratory

3. Safety Requirements to address workplace safety related issues

6.3. Scope of Work

As discussed, TPIA can be employed at the Production/Pre-delivery and Post Delivery stages of project lifecycle.

The details of the TPIA’s function at each stage is described below:

6.3.1. Production/Pre-Delivery Stage

1. Perform sampling at the vendor’s product storage area based on the Sampling Plan stated earlier. TPIA

is expected to arrange for the equipment and personnel required for the process. EESL will supervise the

process and clarify process related queries, if required.

2. Take handover of the bulbs selected after sampling. Any damage caused due to improper handling of the

samples after taking handover the vendor will be the responsibility of the TPIA. The costs which arise

due the damage will be borne by the TPIA.

3. Undertake transportation of the samples from the vendor’s warehouse to the TPIA’s Testing Facilities

ensuring proper packaging.

4. Conduct requisite tests in accordance with the statutory guidelines using own facilities, equipment and

personnel.

5. Submit detailed test reports to EESL which records the following parameters:

a. Date and time of conducting test

b. Manufacturer’s name and designation of the lamp under test

c. List of quantities to be measured

d. Total operating time of the product for measurements including stabilization

e. Ambient temperature

f. Details of photometric method used and conditions under which test is conducted


PwC 29

g. Correction factors applied

h. Photometric measurement conditions

i. Measured safety and performance parameters

j. Statement of uncertainties (if required)

k. Deviation from standard operating procedures, if any

The report shall incorporate other parameters as deemed necessary by mutual agreement of TPIA and

EESL. The report should be submitted to EESL within a considerable time frame as mutually agreed

upon.

6. Assist EESL in analyzing the test reports and provide clarifications of any queries related to the tests.

7. Performing re-tests, in case any discrepancies are observed in the performance of any specific test or a

report

The results of these tests will be submitted to EESL, which will take decision of accepting and rejecting the

product based on the compliance requirements as discussed earlier.

Click here to enter text.

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7. Appendix

7.1. Quality Control Flowchart

Process Groups Processes Stakeholder Involved

Establish Performance Goals

Evaluate Actual

Performance

Compliance & Action Taken

Establish minimum technical requirements for quality acceptance of LED lamp EESL

Role of Stakeholder

Establish required quality requirements based on project objectives and statutory requirements

Bid

Ev

alu

ati

on

P

rod

uct

ion

/Pre

-Del

ive

ry

Po

st

Del

iver

y

Type Test

Document Verification

Proceed to Routine Test if compliant, else

reject

Routine Test

Acceptance Test

Verification Test

Vendor

EESL

Conduct Type Test in NABL Certified Lab

Prepare Test Reports based on the test results and share with EESL

Check documents submitted by vendor for compliance

Vendor

EESL

TPIA

Conduct Routine Test

Prepare Test Reports based on the test results and share with EESL

Check Routine Test reports submitted by vendor for compliance

Supervises TPIA in conducting Acceptance Test and analyzes the reports generated from the tests

Performs Acceptance Test and submits the test reports to EESL

Assists EESL in any clarifications related to the test or the test report

Perform Verification Test if compliant, else

reject

Proceed to Acceptance Test

if compliant, else reject

EESL

TPIA

Check Routine Test reports submitted by vendor for compliance

Supervises TPIA in conducting Acceptance Test and analyzes the reports generated from the tests

Performs Acceptance Test and submits the test reports to EESL

Assists EESL in any clarifications related to the test or the test report

Use product if compliant,

else reject EESL

Check for compliance with accepted standards and take accept or reject decision for each step

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